Richard M. Sincerbeaux
Professional summary
Richard Morley Sincerbeaux SR., who also goes by Dick Sincerbeaux, is a registered financial advisor currently at RM SINCERBEAUX CAPITAL MANAGEMENT, LLC. located in New York, New York.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Richard has worked at 2 firms and has passed the Series 65, Series 63, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Morley Sincerbeaux SR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2021 - Present
RM SINCERBEAUX CAPITAL MANAGEMENT, LLC.
Office #1: 1120 6th Avenue, Suite 4044, New York, NY 10036-6700October 10, 1967 - May 15, 2007
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
RM SINCERBEAUX CAPITAL MANAGEMENT, LLC.
CRD#: 145159 / SEC#: 801-68388
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/9/2021)
Exams
Series 5
Date: 4/20/1982
Interest Rate Options ExaminationPC
Date: 7/1/1977
AMEX Put and Call ExamSeries 1
Date: 10/6/1967
Registered Representative ExaminationCurrent Firm
RM SINCERBEAUX CAPITAL MANAGEMENT, LLC.
CRD#: 145159 / SEC#: 801-68388
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 230,004,741 |
Red Flags
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